Julian C. Willis

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CRD#: 2968100

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Julian Carl Willis was a registered financial professional .

Julian is a previously registered financial professional and started their career in finance in 1999. Julian had worked at 11 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 1, 2017 - March 27, 2017

CANTER WEALTH

RIA

CRD#: 167828

LA JOLLA, CA

Past

May 25, 2012 - September 18, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MANAHAWKIN, NJ

Past

May 25, 2012 - September 18, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MANAHAWKIN, NJ

Past

March 14, 2011 - April 16, 2012

REALTA EQUITIES, INC.

CRD#: 23769

WILMINGTON, DE

Past

August 25, 2009 - July 13, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

PHILADELPHIA, PA

Past

August 24, 2009 - July 13, 2010

LPL FINANCIAL LLC

CRD#: 6413

PHILADELPHIA, PA

Past

June 3, 2009 - September 2, 2009

OPPENHEIMER & CO. INC.

CRD#: 249

PHILADELPHIA, PA

Past

April 2, 2007 - June 10, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

PHILADELPHIA, PA

Past

April 2, 2007 - June 10, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

PHILADELPHIA, PA

Past

October 26, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PHILADELPHIA, PA

Past

October 25, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PHILADELPHIA, PA

Past

June 28, 2004 - October 31, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PHILADELPHIA, PA

Past

May 12, 2004 - October 31, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PHILADELPHIA, PA

Past

February 6, 2004 - May 6, 2004

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

BALTIMORE, MD

Past

December 16, 2002 - July 15, 2003

VIE INSTITUTIONAL SERVICES, INC.

CRD#: 47437

PHILADELPHIA, PA

Past

July 29, 1999 - August 22, 2002

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

PHILADELPHIA, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CANTER WEALTH

CANTER PRIVATE WEALTH MANAGEMENT | TAX & RETIREMENT EDUCATION | D/B/A CANTER WEALTH | CANTER WEALTH | CANTER STRATEGIC WEALTH MANAGEMENT, LLC

CRD#: 167828 / SEC#: 801-117802

RIA

Registered Investment Advisory firm - (12/17/2019 Approved)

California

Registered Investment Advisory firm - (2/13/2021 Terminated)

Texas

Registered Investment Advisory firm - (1/14/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/31/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/25/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/28/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/28/1999

General Securities Representative Examination

Current Firm

CANTER WEALTH

CANTER PRIVATE WEALTH MANAGEMENT | TAX & RETIREMENT EDUCATION | D/B/A CANTER WEALTH | CANTER WEALTH | CANTER STRATEGIC WEALTH MANAGEMENT, LLC

CRD#: 167828 / SEC#: 801-117802

RIA

Registered Investment Advisory firm - (12/17/2019 Approved)

California

Registered Investment Advisory firm - (2/13/2021 Terminated)

Texas

Registered Investment Advisory firm - (1/14/2021 Terminated)

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Contact information

Main Address

7825 Fay Avenue Suite 140, La Jolla, CA 92037

Mailing Address

Phone number

(858) 812-7550

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CANTER WEALTH - FORM ADV 2A (5/20/2025)

Regulatory assets under management

Total Number of Accounts	258
AUM (Assets Under Management)	$ 275,846,754

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Julian C. Willis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

REALTA EQUITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OPPENHEIMER & CO. INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

T. ROWE PRICE INVESTMENT SERVICES, INC.

VIE INSTITUTIONAL SERVICES, INC.

DELAWARE DISTRIBUTORS, L.P.

Primary Firm SEC Registration

CANTER WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2017

Series 66

Date: 6/25/2004

Series 63

Date: 2/28/2003

Series 7

Date: 7/28/1999

Current Firm

CANTER WEALTH

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CANTER WEALTH

TRUST BUT VERIFY

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